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Enforcement Action
Enforcement Action:
Enforcement Summary:
An administrative penalty in the amount of $11,000.00 was imposed on Castlestone Management Incorporated pursuant to sections 37(1)(a)(i) and 37(2)(f) of the Financial Services Commission Act, 2001 and paragraph 3 of Schedule 1 of the Financial Services (Administrative Penalties) Regulations, 2007, for its contravention of section 71(1) of the Securities and Investment Business Act, 2010 by failing to submit its audited financial statements for the financial years ended 31December, 2013 and 31December, 2014.
Matter ID: